Raymond James Financial, Inc. Advisor, Supervision - Ad Review in St. Petersburg, Florida

*REMOTE WORK OPTION FOR REGISTERED FINANCIAL SERVICES PROFESSIONALS WITH COMPLIANCE ADS REVIEW & MARKETING EXPERIENCE AND FULLY LICENSED

Job Summary & Responsibilities:

Raymond James is hiring a Supervision Advisor to complete ongoing functional reviews and provide advanced support to our Financial Advisor teams, focusing specifically on the policies and procedures required by the SEC for broker-dealer advertising and marketing material.

Our ideal contributor will:

  • Serve as a trusted business partner to our Financial Advisor teams by providing expertise with financial services related supervision and compliance issues.

  • Coordinate supervision functions, guide compliance efforts, and act as a liaison between functional areas.

  • Have confidence in making recommendations based on research and analysis conducted by the Supervision Advisor.

  • Maintain frequent contact and establish positive relationships with our field offices, via phone and email, through reactive and proactive measures.

  • Act as the go-to supervision partner for technical issues, ongoing training, and all supervision related questions and concerns from the investment teams as well as internal support departments.

  • Those with active FINRA Series 7 & Series 24 Licenses, or the ability to quickly attain, will be highly valuable for this role.

Essential Duties and Responsibilities:

  • Coaches and mentors less experienced supervision associates.

  • Oversees supervision program for an assigned business entity to ensure compliance processes and procedures are integrated and aligned with business processes.

  • Directs adjustments to existing programs, policies and procedures, as required.

  • Ensures that compliance activities are commensurate with the level of risk being mitigated.

  • Provides escalated support and guidance to compliance efforts in assigned business entity.

  • Informs appropriate Senior Management about issues that may involve rule violations or potential liability.

  • Assists Management to implement adequate controls and quality assurance processes to detect and address potential compliance problems.

  • Researches compliance issues.

  • Alerts Senior Management of current regulatory issues.

  • Researches, interprets and translates regulatory rules and regulations for Senior Management.

  • Monitors exception and other internal reports for employee adherence with rules and regulations.

  • Advises Senior Supervision Management on issues that involve possible rule violations and potential liability.

  • Addresses sensitive compliance issues with Management in assigned functional area.

  • Participates in corporate policy discussions related to compliance.

  • Reviews documentation related to compliance issues for validity and alignment with organizational policies.

  • Prepares and delivers written and oral presentations to senior management.

  • May coordinate and/or oversee responses to regulatory agency inquiries.

  • Develops compliance training programs in conjunction with other compliance activities, as well as maintains training records.

  • Reports supervision program status and activities to supervision and business management personnel.

  • Manages relevant external examinations, ensuring that requested information and reports are provided.

  • Prepares and delivers written and oral presentations to Management.

  • Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities:

Advanced knowledge of:

  • Concepts, practices and procedures of securities industry and/or banking compliance reviews.

  • Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies; and/or Federal Deposit Insurance Corporation (FDIC); Office of the Comptroller of the Currency (OCC); Federal Financial Institutions Examination Council (FFIEC); Office of Thrift Supervision (OTS); Federal Reserve System; and state banking regulatory agencies.

  • Fundamental investment concepts, practices and procedures used in the securities industry.

  • Principles of banking and finance and securities industry operations.

  • Financial markets and products.

Skill in:

  • Overseeing supervision programs.

  • Integrating and aligning supervision processes and procedures with business processes.

  • Coordinating complex supervision activities.

  • Providing support and guidance for compliance efforts.

  • Identifying and implementing controls and quality assurance processes.

  • Reviewing materials for compliance with rules and regulations.

  • Researching compliance issues.

  • Developing compliance training programs.

  • Gathering information and preparing oral and written reports.

  • Preparing and delivers written and oral presentations.

  • Investigating relevant irregularities.

  • Making rule-based and analytical decisions.

  • Operating standard office equipment and using required software applications.

Ability to:

  • Partner with other functional areas to accomplish objectives.

  • Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed.

  • Attend to detail while maintaining a big picture orientation.

  • Gather information, identify linkages and trends and apply findings to assignments.

  • Interpret and apply securities and/or banking regulations and identify and recommends policy and procedural changes as appropriate.

  • Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.

  • Use appropriate interpersonal styles and communicate effectively, both orally and writing, with all organizational levels.

  • Work independently as well as collaboratively within a team environment.

  • Provide a high level of customer service.

  • Establish and maintain effective working relationships at all levels of the organization.

  • Maintain confidentiality.

  • Maintain currency in securities and/or banking industry rules and regulations and best practices in supervision.

Educational/Previous Experience Requirements:

  • Bachelor’s degree (B.A. /B.S.) and a minimum of three (2) years of Compliance or Supervision experience.

or

  • Any equivalent combination of experience, education, and/or training approved by Human Resources.

Licenses/Certifications:

  • Series 7 and Series 24 required. Series 9/10 preferred

Job: Auditing & Compliance

Organization: Private Client Group

Title: Advisor, Supervision - Ad Review

Location: FL-St. Petersburg-Saint Petersburg

Requisition ID: 1900451